【目的】建设全国碳市场是利用市场机制控制和减少温室气体排放、推进绿色低碳发展的一项重大制度创新,也是推动实现碳达峰目标与碳中和愿景的重要政策工具,科学、公平、合理地分配碳排放配额是碳交易开展过程的核心问题。基于碳排放配额分配现状,分析碳交易体系中碳排放配额分配机制及成效,并提出优化策略以助力我国碳交易市场发展。【方法】以“现状—问题—对策”为研究路径,采用文献综述、案例归纳分析、比较分析等方法对国际主要碳市场的配额分配模式进行分析,归纳梳理我国碳排放配额分配机制的现状及主要问题,并对今后的机制和策略优化提出相关建议。【结果】①基于国际视角总结主要市场在碳排放配额分配方面的实践经验,在制定碳市场适当的减排目标和灵活的调整机制、建立充足的参与信心和稳定的价格机制、健全完善的市场机制和配套的法律制度基础上,有序落实免费与有偿相结合的碳排放配额分配方式,为我国碳排放配额分配提供启示和参考。②基于国内视角总结我国碳排放配额分配方面的现状,我国碳排放配额分配取得一定成效,配额总量逐步分层优化,覆盖行业范围逐步扩大,分配原则多元化发展以及分配方式由免费向有偿逐步过渡;但仍存在顶层设计有待完善、分配方式较为单一、市场活力尚未激发和配套措施有待健全等诸多亟需解决的问题。【结论】立足我国碳排放配额分配现状及未来发展趋势,加强分配的统筹规划和顶层设计,推动分配的渐进式发展,建立科学合理的交易生态,健全法律法规、分配方法、市场机制等配套措施,推动碳排放配额分配的市场化赋能和策略优化,可为我国碳交易市场的发展、有效实现碳减排目标提供解决路径和模式参考。

【Objective】The establishment of the national carbon market represents a significant institutional innovation for reducing greenhouse gas emissions through market mechanisms and promoting green and low-carbon development. It also serves as a crucial policy instrument for advancing the achievement of the carbon-peak goal and the carbon-neutrality vision. The scientific, fair, and reasonable allocation of carbon emission quotas lies at the core of the carbon trading process. This study analyzed the allocation of carbon emission quotas within the carbon trading system based on the current situation and proposed optimization strategies to offer references for the development of China’s carbon trading market.【Method】Adopting the research path of “status quo-problems-countermeasures”, this study employed methods such as literature review, case summarization, and comparative analysis. It analyzed the quota allocation models of major international carbon markets, summarized the current status and main problems of China’s carbon emission quota allocation mechanism, and puts forward relevant suggestions for future mechanism and strategy optimization.【Result】(1) From an international perspective, the practical experiences of major markets in carbon emission quota allocation were summarized. For instance, setting appropriate emission-reduction targets and flexible adjustment mechanisms in the carbon market, building sufficient confidence in participation and a stable price mechanism, as well as establishing a sound and perfect market mechanism and supporting legal system, provided valuable insights and references for the orderly implementation of a combination of free and paid carbon emission quota allocation methods.(2) From a domestic perspective, the current situation of China’s carbon emission quota allocation was summarized. With the development of China’s carbon trading market, certain achievements have been made in carbon emission quota allocation, including the gradual optimization of the tier-by-tier total quota amount, the progressive expansion of the covered industry scope, the diversification of allocation principles, and the gradual transition of the allocation mode from free to paid. Nevertheless, there are still numerous issues to be addressed, such as the need to improve the top-level design, the relative simplicity of the allocation method, the lack of stimulation of market vitality, and the necessity to enhance supporting measures.【Conclusion】Based on the current situation and future development trends of China’s carbon emission quota allocation, it is essential to strengthen the overall planning and top-level design of allocation, promote the progressive development of allocation, establish a scientific and reasonable trading ecosystem, improve laws, regulations, allocation methods, market mechanisms, and other supporting measures, and promote the market-based empowerment and optimization of the carbon emission quota allocation strategy. This will offer solution paths and model references for the development of China’s carbon trading market and the effective realization of carbon-emission-reduction targets.